Merrill Lynch

There are Recent Customer Complaints with Broker Robert Brown in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Brown (Brown), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Brown recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 14, 2021.

The customer alleges unsuitable sales transactions and misrepresentations from November 2019 until November 2020.

Broker Allan Fiore in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Allan Fiore (Fiore), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Fiore recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $963,620.00 on June 23, 2021.

The customer alleges that the Financial Advisor placed her in an unsuitable investment strategy, made misrepresentations and made unauthorized trades in the account.

Broker Thomas Brusca in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Brusca (Brusca), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Brusca recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on November 19, 2025.

Customer alleges Financial Advisor failed to follow instructions October 14 2025 to October 19 2025

There are Recent Customer Complaints with Broker Richard Pluta in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Pluta (Pluta), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Pluta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $428,000.00 on November 24, 2025.

Client alleges failure to follow instructions.

Broker Ralph Alezi in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Alezi (Alezi), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Alezi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on November 25, 2025.

The client alleges she loaned the Financial Advisor money for an investment strategy that would generate 30% returns. The client states the Financial Advisor has only made nominal repayments to the loan and she has not received a 30% return.

Broker Anthony Mcmahon in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 6, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Mcmahon (Mcmahon), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Mcmahon recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 10, 2025.

Plaintiff alleges misrepresentations regarding portfolio performance and tax consequences.

Broker Reginald Rasmussen in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Reginald Rasmussen (Rasmussen), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Rasmussen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on December 16, 2025.

The Claimants alleged unsuitable investment strategy and excessing trading in accounts between 2018 and 2022.

There are Recent Customer Complaints with Broker Stephen Hlibok in Firm Merrill Lynch, Pierce, Fenner & Smith Incorporated

February 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Hlibok (Hlibok), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Hlibok recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on December 22, 2025.

The client’s attorney alleges unauthorized trading.

Broker Jason Griffin in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

February 3, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Jason Griffin (Griffin), currently associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Griffin concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint on December 23, 2025.

Attorney for customer alleges unauthorized and excessive trading in the account in October and November 2025.

Broker John Kang in Merrill Lynch, Pierce, Fenner & Smith Incorporated Firm Has Customer Complaint

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Kang (Kang), previously associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, has at least one disclosable event. These events include one customer complaint, alleging that Kang recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 26, 2021.

The customer alleges that she was the victim of an international wire fraud scheme and that the Financial Advisor advised her on methods to circumvent Firm processes in order for the wires to be approved from April 2018 until October of 2018.